PLASMA PHYSICS AND CONTROLLED FUSION

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1 INSTITUTE OF PHYSICS PUBLISHING Plasma Phys. Control. Fusion 47 (5) PLASMA PHYSICS AND CONTROLLED FUSION doi:1.188/ /47/1/4 A new method for the inversion of interferometry data using basis functions derived from singular value decomposition of local measurements in tokamak plasmas I Furno 1,4, H Weisen, C Carey 1, C Angioni 3, R Behn, E Fable, A Zabolotsky, the TCV team and JET-EFDA Contributors 1 Los Alamos National Laboratory, M.S. E56, Los Alamos, NM 87545, USA Centre de Recherches en Physique des Plasmas, Association Euratom-Confédération Suisse, EPFL, Lausanne, Switzerland 3 Max-Planck-Institut für Plasmaphysik, IPP-EURATOM Association, D Garching bei München, Germany furno@lanl.gov Received 16 July 4, in final form September 4 Published 9 December 4 Online at stacks.iop.org/ppcf/47/49 Abstract A novel method for inverting time-resolved line-integrated interferometric plasma density measurements is described. The method uses singular value decomposition of local density profiles from Thomson scattering measurements obtained at low sampling rates in the same or equivalent plasmas to determine a set of orthogonal spatial basis functions which is well adapted to the physical processes under investigation. The sought-for density profile is expanded into a limited series of these functions and a solution is calculated by using a simple least-squares fit method. The new method overcomes the difficulties encountered with other methods, such as regularization methods, which smoothen gradients and depend on the availability of accurate measurements in the plasma edge region. The small number of computations required provides for a fast algorithm. This method, which combines the high bandwidth of interferometer systems with the spatial accuracy of Thomson scattering, is applied to invert interferometer measurements in a wide variety of operational regimes in the Tokamak à Configuration Variable and Joint European Torus (JET) tokamaks. In particular, the collisionality dependence of density peaking observed in ASDEX Upgrade is confirmed in JET H-modes using this method. (Some figures in this article are in colour only in the electronic version) 4 Author to whom any correspondence should be addressed /5/149+1$3. 5 IOP Publishing Ltd Printed in the UK 49

2 5 I Furno et al 1. Introduction Understanding and control of particle transport is an important issue for thermonuclear fusion research since it determines the transport of the reactants and reaction products towards and away from the core of the plasma. Particle transport studies in plasmas require measurements of density profiles with high temporal and spatial resolution. In fusion research devices, two different diagnostics are commonly used to perform these measurements. Interferometer systems provide line-integrated density measurements with high temporal resolution from the phase shift of a laser beam across the plasma cross section. Thomson scattering systems provide local density measurements by detecting the scattered laser light from a small volume of plasma. Although Thomson scattering systems have the advantage of providing local density profiles, their time resolution is limited by the repetition rate of the laser system and is usually inadequate for resolving fast transport phenomena. In contrast, interferometer systems have high sampling rates allowing fast changes of the line-integrated density to be measured. However, because they are line-integrated they require solving an inverse problem for calculating the local density profile. Due to access limitations in tokamak devices, interferometer systems with a single fan of probing beams are the practical choice [1 4]. In this case, additional information about the structure of the electron density is required to solve the inverse problem. One possibility is to require the solution to satisfy some constraints. The minimum Fisher information (MFI) is particularly successful in inverting line-integrated interferometric data [] by minimizing the Fisher information [5] of the sought-for electron density distribution. The second possibility is to reduce the degrees of freedom of the problem by expanding the solution in series of orthogonal basis functions. In this approach, different functional forms have been used for interferometer data, i.e. Fourier Bessel functions [6] or Gaussian functions [7]. However, these basis functions give good results only for specific data sets. No general and physically justifiable functional form exists for fitting electron density profiles in tokamak plasmas. In this article, we develop a novel approach to inverting line-integrated interferometer data by expanding the sought-for solution into a linear combination of basis functions that are well adapted to the physics determining the transport. The singular value decomposition (SVD) of the Thomson scattering measurements is used to determine these basis functions. In the following, we shall refer to the novel method, which combines the advantages of interferometry with those of Thomson scattering, as the singular value decomposition inversion (SVD-I) method. The remainder of the article is organized as follows. In section, the far infrared interferometer and the Thomson scattering system on the Tokamak à Configuration Variable (TCV) tokamak are described. In section 3, MFI and the expansion in basis function methods to perform interferometric inversion are presented. In section 4, the SVD-I method is developed and compared to the MFI method using artificial data. Applications to experimental interferometer data in discharges in the TCV [8] and Joint European Torus (JET) [9] are discussed in section 5. Finally, the conclusions are summarized in section 7. The applications presented for the TCV and JET devices are not intended to be an extensive physics study. Rather, the examples and references supplied should be understood as a guided tour in the context of the authors current research on particle transport. To some degree, the data shown are a revisitation of previous investigations for the purpose of cross-validation. However, some of the examples are novel results, which have not been previously published.. TCV experimental set-up The TCV device [8] has a major radius R =.89 m, minor radius a =.5 m and axial magnetic field B T 1.54 T. The TCV vacuum vessel allows for plasmas with elongations

3 Inversion of interferometric data using SVD 51 (a) k= (b) Z [m] (c) R [m] Figure 1. Far infrared interferometer on TCV. (a) Geometrical arrangement of the 14 laser beams probing the plasma. Shown as squares are also the 5 scattering volumes of the TCV Thomson system. (b) and (c) Two extreme plasma shapes in TCV. up to.9. Plasma shaping is performed with 16 independently controlled poloidal field coils. The radiofrequency system provides 3 MW of EC power for heating and current drive at the second cyclotron harmonic resonance (8.7 GHz) using the extraordinary mode [1]. Examples of an extremely elongated and an extremely triangular plasma are shown respectively in figures 1(b) and (c). The geometry of the magnetic flux surfaces is provided by the equilibrium reconstruction code LIUQE [11]. For practical calculations a grid of 41 equispaced points in the coordinate ρ is used, where we have defined ρ = a, (1) where is the poloidal flux at the magnetic axis and a is the poloidal flux at last closed flux surface (LCFS). In figure, an example of magnetic equilibrium reconstruction is given for the TCV discharge No In this figure, the flux surfaces are shown at t =.7 s and correspond to ρ =.1n, for n = 1,...,1. On TCV, the electron density n e is obtained by interferometric and Thomson scattering measurements. The far infrared interferometric (FIR) system [3] uses an optically pumped CH F laser with a wavelength λ = 14.6 µm corresponding to the cutoff density

4 5 I Furno et al TCV discharge No. 1819, t=.7s.5.4 Z [m] R [m] Figure. Nested pixels corresponding to TCV magnetic flux surfaces as calculated by the equilibrium code LIUQE. Shown are magnetic flux surfaces corresponding to ρ =.1n for n = 1,...,1. The pixel corresponding to.7 ρ.8 is shown in grey. The electron density is assumed constant in each pixel. n c.4 1 m 3. The plasma is probed along 14 vertical chords of diameter mm in a single poloidal plane as shown in figure 1(a). The phase shift φ i between a laser beam passing through the plasma along a straight optical path L i and a reference beam outside the plasma is measured by a Mach Zehnder interferometer using heterodyne detection. The signal detectors (InSb hot electron bolometers) provide a frequency response up 1 khz. For all experiments in TCV, the condition n e n c holds and the phase shift φ i is proportional to the line-integrated electron density φ i = L i n e dl i, i = 1,...,14, () where n e is expressed in m 3. At the selected wavelength, only minor refraction effects are present, even at high line averaged densities, n e. 1 m, and the precision of the measurement is typically n e m. The TCV Thomson scattering system [1] also provides measurements of electron density profiles. Three nearly collinear laser beams (wavelength λ = 1.64 µm, repetition rate to Hz) are injected from the bottom of the TCV vessel at the radial position R =.9 m. The light scattered from 5 sampling volumes, shown in figure 1(a), is collected with a spatial resolution of 4 mm in the vertical direction and 3 mm in the radial and toroidal directions. Sampling intervals down to.4 ms can be achieved in the so-called burst-mode, when the three lasers are triggered close together. 3. Methods to invert interferometric data From the mathematical point of view, the calculation of the local electron density profile n e from line-integrated measurements requires the solution of the system of inhomogeneous

5 Inversion of interferometric data using SVD 53 Fredholmequations of the first kind in equation (). This system is always underdetermined, since an infinite number of measurements would be required to solve the system exactly. On TCV, strongly shaped plasma configurations are produced, so a simple Abel inversion [13] of this system of equations is not of much use. Under these circumstances, additional information is required to obtain a local electron density. Provided that the plasma is not perturbed by strong magnetohydrodynamic (MHD) activity, the electron density is expected to be constant on a toroidally symmetrical magnetic flux surface and depends on the radial flux coordinate ρ alone, i.e. n e = n e (ρ). The supplementary information provided by the flux surfaces is introduced in the system of equations by defining nested pixels, ρ i ρ ρ i+1, determined by the geometry of the magnetic surfaces (shaded pixel in figure ), within which the electron density is considered constant [, 14]. The electron density is discretized on this grid of nested pixels and the system of integral equations is thus transformed to a system of algebraic equations as ( n e ) i = T ik (n e ) k, i = 1,...,n l, (3) k=1,...,n pix which can be arranged in matrix form n e = T n e. (4) The matrix element T ik equals the length of the optical path L i in pixel k. The line-integrated measurements and the density profile, respectively, form the column vectors n e of size n l (the number of line-integrated measurements) and n e of size n pix (the number of pixels). In practical situations, a direct inversion of T is almost always impossible, either because there are fewer equations than unknowns (n l <n pix ) and therefore the number of solution is infinite or, even if we have n l = n pix, because T is badly conditioned. One way to choose a physically sensible solution is to choose a density profile such that the functional F = χ + αr (5) is minimized, where χ = ( T n e n e ) T ( T n e n e ) (6) is the least-squares term which provides the consistency of the solution with the line-integrated measurements, R is a regularization functional and α is a positive definite parameter. For convenience, we have used the abbreviation T ik = T ik /σ i and ( n e ) i = ( n e ) i /σ i where σ i is the standard deviation of ( n e ) i. The parameter α determines the weighting between the goodness of fit (represented by χ ) and the functional R. In the limit α, the solution is determined by χ alone as in equation (5), while for α only the requirements imposed by the functional R determine the solution. The most likely solution is somewhere in between, so one part of the problem is to choose the correct value of the regularization parameter α, a second part is to find a solution for this particular value. In practice, provided that the experimental errors σ i are known sufficiently well, the parameter α is determined by minimizing the functional F subject to the constraint χ n l, as discussed in detail in [15, 17]. An example of a regularization method used on TCV for soft x-ray tomography [15, 16] and interferometry [7] introduces the minimum Fisher functional [n R FI = e (ρ)] dρ, (7) n e (ρ) where n e (ρ) is the derivative of the electron density profile with respect to the radial flux coordinate ρ. An efficient iterative scheme to minimize the functional F FI = χ + αr FI has

6 54 I Furno et al been developed [15] which utilizes the criterion χ n l to determine the correct value of the parameter α. The second possibility to solve the system of equations (3) is to reduce the degrees of freedom by expanding the local electron density profile into a series of orthogonal functions w k (ρ) such that n e (ρ) = a k w k (ρ), (8) k=1,...,k max which can be cast in the matrix form as n e = W a. (9) Using the expansion in equation (9), the set of equations (3) can be arranged in the matrix form n e = T W a, (1) where the coefficients a are the unknowns of the system. The crucial issue in this approach is the choice of the basis functions w k (ρ) in equation (8) which results in the condition n l K max. Provided that this condition is satisfied, the system of equation (1) becomes an overdetermined system for which a least-squares solution can be determined by solving the set of normal equations [17] (T W) T (T W) a = (T W) T n e. (11) In the next section, Thomson scattering measurements of electron density profiles are used to form the basis functions, w k (ρ), for the expansion of the local electron density profile as in equation (8). 4. New inversion method using SVD of Thomson scattering data In tokamak transport experiments, the temporal evolution of the electron density can be described by a time-dependent linear combination of spatial eigenfunctions of the operator that governs the dynamical response [18, 19]. Using these particular eigenfunctions, a small number (typically from two to four) of components is usually required to model the evolution of the electron density profile [18], and therefore they constitute well-adapted basis functions to reduce the dimensionality of the system of equation (8). The SVD is particularly effective in identifying these basis functions from spatio-temporal data []. The SVD has also been successfully used in the analysis of soft x-ray [19, 1] and magnetic [] data and in image processing [3]. The basic idea of the SVD-I method to invert interferometric data is to expand the electron density profile in equation (8) by using basis functions w k (ρ) which are obtained from SVD analysis of Thomson scattering data. This choice of basis functions is well adapted to the physics determining the electron density profiles and therefore reduces the number of significant coefficients, a k, in equation (1) allowing a least-squares solution of the inverse problem as in equation (11). In this section, the SVD-I technique is developed, and an example using artificial electron density data is illustrated. Readers interested in a more rigorous mathematical derivation of the SVD and its fundamental properties can refer for example to [4] Development of the SVD-I method and comparison to MFI method To illustrate the SVD-I method and compare its performance to that of the MFI method, an artificial set of local density data, ˆn e, that simulates sawtooth activity has been generated (see section 5 for details on sawtooth activity). The temporal evolution of the artificial electron

7 Inversion of interferometric data using SVD 55 (a) (c) (b) t/τ saw ρ Figure 3. Artificial local electron density measurements simulating sawtooth activity in the plasma. Time evolution of the electron density at different radial positions: (a) on axis; (b) just outside the inversion radius; (c) electron density profiles at different times indicated by different symbols in (a). Vertical dashed lines in (b) indicate times used to build the subset of Thomson profiles to form the basis functions. density is shown in figures 3(a) and (b) for two different radial positions together with two profiles, figure 3(c), before and after the sawtooth crash. From these artificial data sets the line-integrated density, n e, is calculated using equation (11). The transfer matrix T is obtained from an actual TCV discharge. Reconstructed local density profiles n e are obtained from both SVD-I and MFI method. The performance of the inversion techniques is thus revealed from a final comparison between n e and the initial ˆn e input. Thomson scattering measurements, which are used to form the basis functions, are simulated in this example by choosing a temporal subset of ˆn e at 15 points. The corresponding times are indicated on figure 3(b) as vertical dashed lines. In practice, because of the low temporal resolution of the Thomson scattering system, each sample is obtained from a different, but equivalent, sawtooth cycle. Typical samples of Thomson scattering profiles taken over a quasi-stationary discharge include from 5 up to 1 time points for the examples presented in sections 5 and 6. To apply the SVD, Thomson scattering electron density profiles ˆn e (ρ i,t j ) are arranged in matrix form as follows N e = ˆn e (ρ 1,t 1 ) ˆn e (ρ N,t 1 ).. ˆn e (ρ 1,t M ) ˆn e (ρ N,t M ), (1) where M and N are, respectively, the number of temporal and spatial Thomson scattering samples. On TCV, the standard grid from the magnetic reconstruction code LIUQE assumes N = 41 and therefore the inequality M>Nusually holds. The SVD provides a decomposition of the matrix N e into three matrices U, S and V such that N e = U S V T. (13) The matrices U and V are M N and N N unitary matrices, respectively, i.e. U U T = I and V V T = I. The N N matrix S is diagonal with positive or zero elements, S k, which we

8 56 I Furno et al..1.4 Topos Power distribution ρ k 1-8 Figure 4. SVD of simulated Thomson scattering data. Thomson data are simulated by choosing a temporal subset of the artificial electron density data in figure 3. The first three topos are shown on the left together with the power distribution of the first twenty topo/chrono couples % of the signal energy is stored in the first three topos. refer to as the singular values. Conventionally, they are ordered in descending order such that S 1 S S N. The columns of V represent spatial eigenmodes v k (ρ) or topos, whereas the columns of U can be considered as temporal eigenvectors u k (t) or chronos, where we have adopted the nomenclature of [19]. In figure 4, the first three topos are shown together with the power distribution of the topos/chronos couples. As can be seen in this figure, the singular values are strongly ordered and 99.99% of the signal energy, defined as p k = Sk / k S k, is contained in the first three chronos/topos pairs. Here, the local electron density is expanded as in equation (8) using the first three topos as the basis functions, w k (ρ), and a simple least-squares solution of equation (1) is found. A method to determine the number of components that are needed in the case of experimental data is presented in section 5. In figure 5, two artificial electron density profiles are shown (dashed lines), before and after the sawtooth crash, together with reconstructions from artificial line-integrated data. Figure 5(a) shows MFI method, figure 5(b) the SVD-I method. For the same set of artificial data, the time evolution of the reconstructed electron density using both methods is shown for two different radial positions in figures 6(a) and (b). The time evolution of the artificial electron density is also shown as a dashed line for comparison. In figure 6(c), the time evolution of the error in the reconstruction defined as χ = (ˆn e n e ) T (ˆn e n e ) is shown. In the case of the peaked profile, a good reconstruction is obtained with both methods for ρ.8. However, the outermost region of the plasma, ρ.8, is more accurately reconstructed by the SVD-I method. This is due to the sensitivity of the MFI functional in equation (7) to boundary conditions. In the case of the hollow electron density profile, inversions obtained using the SVD-I method are considerably more accurate than the MFI reconstructed profiles. The strength of the SVD-I method is also obvious when we consider the time evolution of the χ, as can be seen in figure 6(c). The smoothing imposed by regularization methods destroys features in the density profiles. By contrast, the SVD-I method utilizes Thomson scattering data and does not impose smoothing of the profile. This allows

9 Inversion of interferometric data using SVD 57 MFI method (a) SVD-I method (b) Density profile [au] Figure 5. Inverted electron density profiles ( ) from the simulated density profiles (- ---) also shown in figure 3. The MFI and SVD methods are compared for peaked and hollow profiles. [au] [au] (a) (b) Chi (c) t/τ saw Figure 6. Artificial electron densities. Time evolution of the electron density is shown as a dashed line, inversion of line-integrated measurement using the MFI method is shown as a light solid line, and inversion using the SVD-I method is shown as a dark solid line for different radial positions: (a) on axis, and (b) just outside the inversion radius. Error of inversion methods in ρ space is shown in (c) as a function of time. features to be preserved when they are contained within the set of topos used as computed from Thomson scattering data. It is possible that the MFI method could benefit from utilizing Thomson scattering data in an analogous way but small-scale features may still be smoothed out by nature of the MFI method itself.

10 58 I Furno et al Density profile [au] Density profile [au] 1 1 % Error.5% Error 5% Error. ρ.6 1 1% Error..6 1 ρ Figure 7. Inverted electron density profiles ( ) using the SVD-I method from artificial lineintegrated data. Different levels of noise are added on Thomson scattering profiles used to calculate the basis functions. The artificial electron density profiles (- ---)arealso shown for comparison. It is also worth noting that, due to the small number of computations required, the SVD-I method provides for a fast inversion process. On a PC workstation (Pentium, 6 MHz, 1 GB of RAM) using Matlab 6., 1 time points, similar to the number in a typical TCV discharge, can be inverted in less than 1 s for a fixed magnetic equilibrium. By contrast, inversion of the same set of data would require 3 min using the MFI method. 4.. The importance of errors in the Thomson data For testing the effect of errors in the Thomson scattering measurements, reconstructions were produced from artificial line-integrated data with three different levels of noise added on the simulated Thomson measurements:.5%, 5% and 1%, respectively, the latter representing a rather pessimistic case compared to available experimental data. Figure 7 displays reconstructed peaked and hollow profiles (solid lines) for the different noise levels. Artificial electron density profiles are also shown for comparison (dashed lines). As would be expected, as the level of noise in the Thomson measurements increases the level of noise in the reconstruction increases as well. However, even for the worst case scenario with 1% noise in the Thomson measurement, the reconstruction still conveys the major features of the electron density profile. We should also note here that the database of the local Thomson scattering profiles from which the basis functions are derived, needs to be rich enough to contain sample profiles which are representative of all phases of the density profile evolution of interest. 5. Application to TCV interferometric data This section, which is not meant to be an extensive physics study, illustrates applications of the SVD-I method to experimental data during sawtooth activity in TCV plasmas.

11 Inversion of interferometric data using SVD Normal sawteeth Inverted sawteeth n [m 1 ] e - 18 n [m 1 ] e m/n=1/1 mode (a) (c) Shot No Shot No (b) (d) Time [s] Time [s] Figure 8. Temporal evolution of line-integrated interferometric measurements during normal (a) and (b) and inverted (c) and (d) sawteeth. Shown are measurements along a central chord (a) and (c) and a chord just outside the sawtooth inversion radius (b) and (d). Sawtooth oscillations, named after the characteristic shape of their soft x-ray time traces, were first observed on the ST tokamak [5] and are present in many tokamak experiments. In ohmically heated plasmas, they consist of periodic relaxations of the central electron temperature and density which develop when the safety factor on axis drops below unity. The sawtooth behaviour for normal sawteeth is presented in figures 8(a) and (b) for TCV discharge No The temporal evolution of the line-integrated electron density, n e,is shown from a central interferometer chord, figure 8(a), and from a chord outside the inversion radius (see definition below), figure 8(b). Particle transport is ordinarily characterized by a negative (inward-directed) convective velocity that results in a slow rise (sawtooth ramp) of the line-integrated central electron density n e, figure 8(a), and moderately peaked electron density profiles. The sawtooth ramp phase is followed by a rapid drop (sawtooth crash) during which an m/n = 1/1 MHD instability grows (as indicated by soft x-ray tomographic reconstruction [6]) and particles are expelled from the central plasma region defined by ρ ρ inv, ρ inv being the inversion radius. Although sawteeth have been observed and studied in all tokamaks, recent experiments have revealed new peculiar features when electron cyclotron heating (ECH) and electron cyclotron current drive (ECCD) are applied in sawtoothing tokamak discharges. In particular on TCV, with central ECH or ECCD, outward particle convection is observed when a quasicontinuous m/n = 1/1 mode is present. This results in inverted sawteeth on the line-integrated central electron density and hollow electron density profiles, whilst in the absence thereof, inward convection between successive sawtooth crashes leads to normal sawteeth [6, 7]. The temporal evolution of line-integrated interferometric data during inverted sawteeth is presented in figures 8(c) and (d) for TCV discharge No The application of the SVD-I method to real data requires the assessment of the number of components (NC) that are needed in equation (8) to expand the electron density profile and whether or not these components can be retrieved from SVD analysis of Thomson scattering data. Using TCV shot No as an illustrative example, we discuss a method to determine the NC by comparing the SVD analysis of line-integrated interferometric data to the SVD analysis of Thomson scattering data.

12 6 I Furno et al [au] [au] (a) (c) (b) (d) Power distribution (e) 1 m= Channel No Channel No k Figure 9. Shot 18549: SVD analysis of the 14 line-integrated interferometric signals during inverted sawteeth in the time window shown in figure 8(c) and (d ). Shown are the topos corresponding to the four largest singular values (a) (d) together with the distribution of the singular values (e). Two almost identical singular values, k = 3, 4, suggest the presence of a rotating mode. To apply the SVD, line-integrated data from the 14 interferometer channels n e (k, t j ) are arranged in matrix form as follows n e (1,t 1 ) n e (14,t 1 ) n e =.., (14) n e (1,t P ) n e (14,t P ) where P is the number of temporal samples and k = 1,...,14 refers to the channel number as shown in figure 1. In figures 9(a) (d), the first four topos are shown from SVD analysis of the interferometric signals in the time interval of interest t = s in figure 8(c) and (d). The power distribution of the singular values S k, shown in figure 9(e), reveals four significant components that together contain more than 99.99% of the total signal energy. The first topo, figure 9(a), corresponding to the largest singular value, represents the contribution to the line-integrated data of the spatially averaged electron density profile. The periodic peaking flattening of the profile during sawtooth activity is represented by the second topo in figure 9(b). Analysis of the singular value distribution shows two topos, corresponding to k = 3, 4 whose singular values are close enough to suggest the presence of rotating mode, figures 9(c) and (d). This is confirmed by the corresponding chronos (not shown here) which are oscillating at a frequency of 4 khz and phase shifted by π/. This mode is localized at the positions of the interferometer channels k = 6, 9, which cross the plasma at opposite sides of the magnetic axis, and therefore exhibits an m = 1 structure. This is also confirmed by soft x-ray data as detailed in Furno et al [7]. Topos/chronos couples corresponding to higher singular values S k > 4 are noise dominated, and no coherent spatial and temporal structures are observed. From this analysis, we can conclude that the SVD is efficient in separating the dynamics of the sawtooth activity (whose dominant structure is m = ) from the rotation of the m = 1 mode. The persistent m = 1 mode provides a perturbing asymmetry which is incompatible with the hypothesis of poloidal symmetry underlying the reconstruction. In this case, we filter it out by removing the corresponding singular components (k = 3, 4 in figure 9). This provides the poloidally symmetric component of the line-integrated interferometric data that

13 Inversion of interferometric data using SVD 61 [au] [au].18 Normal sawteeth Inverted sawteeth.14.1 (a) (c).6 Shot No (b) (d). Shot No ρ ρ Figure 1. SVD analysis of Thomson scattering measurements for TCV discharge No (a) and (b) and discharge No (c) and (d). Shown are the topos corresponding to the two largest singular values. can be inverted using the SVD-I method. When MHD activity is weak or absent, this step of filtering is of course not necessary. To assess whether or not the SVD of Thomson data can provide the correct basis functions to expand the electron density, we apply the SVD to a set of Thomson scattering profiles measured during the same discharge as detailed in section 4.1. In figures 1(c) and (d), the first two topos obtained from SVD analysis of 6 Thomson scattering profiles for TCV discharge No are shown. The first topo in figure 1(c), corresponding to the largest singular value, represents the spatially averaged electron density profile. The second topo in figure 1(d) represents the periodic flattening peaking during sawtooth activity. We can therefore conclude that these two topos can be used to expand the electron density in equation (8) and a leastsquares solution can be found. The SVD analysis of line-integrated FIR data has been performed for the normal sawtooth case of figure 8 resulting in the identification of two components (not shown here) describing the sawtooth dynamics. Also in this case, the topos corresponding to the first two largest singular values, shown in figures 1(a) and (b), as determined by SVD of Thomson scattering measurements provide the correct basis functions to model sawtooth activity. Here, it is important to note that a basis functions obtained in a particular physical situation should not be expected to reconstruct the electron density profiles in a different physical situation. For example, the topo in figure 1(c) can effectively reconstruct hollow density profiles observed during inverted sawteeth (see discussion below) but it will be inadequate in reconstructing peaked profiles during normal sawtooth activity. The temporal evolution of local electron density reconstructed using the SVD-I method is shown in figure 11 for both normal (a) and (b) and inverted sawteeth (c) and (d). For the same discharges, electron density profiles are shown in figure 1 at times indicated by different symbols in figure 11. In figures 1(b) and (d), inverted electron density profiles are compared with profiles as measured by the Thomson scattering system at the same times. Due to the low repetition rate of the Thomson scattering system, only a single profile is measured during the three sawtooth periods of figure 11. In figure 13, experimental line-integrated data are compared to the line-integrated data computed using equation (4), where n e is the reconstructed profile.

14 6 I Furno et al Normal sawteeth Inverted sawteeth n [m 1 ] e n [m 1 ] e (a) (c) Shot No Shot No (b) (d) Time [s] Time [s] Figure 11. Temporal evolution of local electron density reconstructed using the SVD method at different radial positions during both normal and inverted sawteeth for two TCV discharges shown in figure 8. (a) and (c) On-axis; (b) and (d) just outside the sawtooth inversion radius. Different symbols (,, ) indicate times corresponding to the electron density profiles in figure n e [m 1 ] n e [m 1 ] Normal sawteeth (a).4.8 ρ (c) Inverted sawteeth Shot No Shot No (b) (d).4.8 ρ Figure 1. Reconstructed electron density profiles using the SVD method during normal and inverted sawteeth. Times correspond to different symbols in figure 11. (a) and (c) Profiles before ( ) and after ( ) the sawtooth crash. (b) and (d) Profiles during the sawtooth ramp ( ) are compared with profiles (- ---)asmeasured by the Thomson scattering system at the same times. In the normal sawtooth case, n e increases during the sawtooth ramp and then drops at the sawtooth crash on a fast time scale (typically 1 µs) resulting in a flattening of the electron density profile. After the sawtooth crash, the increase of n e results from a particle flux in the direction of the density gradient and hence from an inward particle convection, as shown by the temporal evolution of the electron density profile in figures 1(a) and (b). In the inverted sawtooth case, the decrease in n e results from an outward particle flux, which

15 Inversion of interferometric data using SVD n [m 1 ] e - 18 n [m 1 ] e Normal Sawteeth, Shot No Inverted Sawteeth, Shot No before crash 5 1 Channel No. χ=.9688 χ= after crash 5 1 Channel No. χ=9.119 χ= Figure 13. Comparison of line-integrated experimental data ( ) with line-integrated data (----)ascalculated from reconstructed profiles using equation (4). results in a hollowing of the density profile followed by a fast recovery at the sawtooth crash. In both cases, the SVD-I method yields a reconstruction of the electron density profile which reproduces the experimental line-integrated data within the measured experimental error bars as shown in figure 13. The reconstructed profiles are also in excellent agreement ( 5%) with the profiles measured by the Thomson scattering at the same times as shown in figures 1(b) and (d). This proves that the SVD-I method can be successfully applied to interferometric data in practical situations with experimental errors. The existence of hollow profiles proves that the normally inward directed particle pinch can be reversed under certain circumstances. Two mechanisms have been proposed to explain this behaviour. According to the first [8], the reversal may be due to neoclassical thermodiffusion in the core of the plasma, which is helically displaced by the m/n = 1/1 island, making the core region similar to a stellarator. For axisymmetrical systems (ideal tokamak), neoclassical thermodiffusion is inward directed (for a monotonic electron temperature profile), while for non-axisymmetrical systems it is outward directed and stronger in magnitude due to the presence of particles trapped in local mirrors [9]. Hollow density profiles of this nature are frequently observed in stellarators. According to the second explanation, derived in axisymmetrical geometry, the outward convection may be due to anomalous thermodiffusion. Outward thermodiffusion leading to hollow density profiles was observed in nonlinear collisionless simulations when the electron heating exceeded the ion heating by a factor of two or more, which is the case in TCV [3]. A recent quasi-linear analysis [31] has shown that this anomalous thermodiffusion is due to trapped electron modes (TEMs) and increases in magnitude as the TEM become more unstable. The same analysis also suggests that the thermodiffusive outward flux may not be sufficient to overcome the curvature driven flux, which is always inward for positive shear discharges. Since these calculations were made in axisymmetrical geometry, their relevance to hollow density profiles correlated with m/n = 1/1 islands is unclear. Although the theory of anomalous transport in nonaxisymmetrical systems is less developed, there is no reason to believe that anomalous convection should not occur in those systems as well. The explanation of density flattening by anomalous outward thermodiffusion does appear to apply to the reduction of the density gradients in the confinement zone (outside the q = 1 radius and arguably axisymmetrical even in the presence of a m/n = 1/1 island) of TCV, which is observed in the presence of powerful central ECH irrespective of the presence or absence of m = 1, n = 1 islands [3, 33]. The phenomenon of density profile flattening has also been observed on ASDEX Upgrade in high

16 64 I Furno et al 8.5 TCV Discharge No. 4479; ELMy H-mode n e [1 19 m -3 ] Time [s] ρ= ρ=.6 ρ=.9 Figure 14. Time evolution of reconstructed density at three positions in an ELMy H-mode using 4 topos and 1 chords. Vertical lines indicate ELMs. The density at ρ =.9 has been scaled by a factor of 1.6 to avoid overlapping. density plasmas in the presence of ion cyclotron resonance heating (ICRH) [34], although it was interpreted as solely due in increased electron particle diffusivity brought about by the central heating, in the presence of a constant or weakened Ware pinch. An analogous mechanism is observed to occur on ASDEX Upgrade in high density plasmas with central ECRH [31]. Figure 14 shows an example of the SVD-I method applied to an ELMy, sawtoothing H-mode in TCV. The figure shows reconstructed traces near the edge (ρ =.9), at ρ =.6 and on-axis. The occurrences of ELMs, inferred from a D α signal, are marked by broken vertical lines. For a period of 1 ms at the ELM crash, a strongly asymmetrical perturbation is observed, which prevents a meaningful reconstruction. The corresponding periods are left blank in the traces of figure 14. We found that the line integral of the reconstructed profiles for the chords closest the edge is poor in H-mode. Having ascertained that this is not an effect of beam refraction in the pedestal region, where gradients are strong, we realized that this chord passes within less than the Thomson scattering radial resolution ( 3 cm after mapping) of the LCFS. Hence the SVD analysis of Thomson scattering profiles is unable to generate basis functions that allow the H-mode pedestal region to be adequately represented and reconstructed. Consequently we have omitted these chords in the reconstructions of figure 14. We have compared the results of the SVD-I to those from Thomson scattering for a wide range of sawtoothing ohmic L-mode discharges in TCV. These discharges were presented previously in an investigation of density profile behaviour, which showed that the broadness n e /n e of the electron density profiles is directly related to the peaking of the current density profile, irrespective of plasma shape, average density and collisionality (see, e.g. figure 1(b) in [33]). The same data are shown in figure 15 for Thomson scattering (dots) and for SVD-I (triangles) demonstrating good agreement. As previously shown [3], the scaling of electron density peaking with current density peaking is in agreement with turbulent equipartition theory (TEP) [35]. The fact that good reconstructions are obtained for a modest number of topos ( 4 depending on circumstances), suggests that a smaller number of interferometer chords than available on TCV may be sufficient. We tested the idea by performing reconstructions with reduced sets of approximately evenly spaced chords and found that the quality of the reconstructions remains virtually

17 Inversion of interferometric data using SVD 65.8 Thomson SVDI 3 topos n / n e e j /j Figure 15. Dependence of density profile width on current profile peaking in sawtoothing ohmic L-mode discharges in TCV. : using only Thomson scattering. : using SVD-I with 3 topos. n e [1 19 m -3 ] TCV Discharge No ; t=.75 Error Bars TS 1 Chords 7 Chords 4 Chords ρ TCV Discharge No ; t=.78 Error Bars TS 13 Chords 5 Chords 4 Chords ρ Figure 16. Reconstruction of density profiles using a reduced number of interferometer lines (a) broad profile with q 95 =.4 (4 topos used), (b) peaked profile with q 95 = 4.5 ( topos used). unchanged down to as few as 5 or 6 chords (for 4 topos), as shown in figure 16 for a broad and a peaked density profile. ELMy H-modes are also reconstructed satisfactorily with 5 chords using 3 topos, but for 4 topos, 6 chords are often required. The robustness of the reconstruction at low chord numbers is an important advantage for larger fusion devices, such as JET, where access restrictions limit the number of interferometer lines. 6. Application of SVD-I to JET discharges We have applied the SVD-I to a set of several hundred discharges in L- and H-modes in JET. JET is equipped with an 8 channel system [4] and a LIDAR Thomson scattering system [36]. The pedestal region is not resolved by the 4 Hz core LIDAR system, which has a relatively

18 66 I Furno et al n e /n e < ν eff <..< ν eff <.3.3< ν eff <.5.5< ν eff < /l i Figure 17. Dependence of density profile width on internal inductance in MHD-free LHCD L-mode discharges in JET. Symbols indicate different classes of effective collisionality. modest resolution of some 1 cm for the JET low field side minor radius of typically 85 cm. JET has a higher resolution edge Thomson scattering system, but it currently has a lower repetition rate (1 Hz) and is not always available, which is why we have not included it in the present analysis. For the same reasons as in TCV, we have excluded edge chords, which are nearly tangent to the LCFS, and the chord passing through the X-point, which can pick up a significant contribution from outside the LCFS, leaving 5 chords for the reconstructions. The SVD-I was applied to study the behaviour of the density profile in a series of lower hybrid current driven (LHCD) discharges presented previously [37]. These plasmas all had the same plasma current I p = 1.3 MA, corresponding to q 95 = 8. They were also free from sawteeth and other MHD activity and had q > 1. Applying a range of powers of off-axis LHCD up to 3.6 MW, the magnetic shear in the core was reduced and eventually reversed. The width of the density profile followed the width of the current profile as n e /n e /3 l 1 i, where the internal inductance l i is a measure of the peaking of the current profile, in qualitative agreement with predictions from TEP [35] and its counterpart in fluid theory, the curvature pinch [3]. These discharges had no MHD activity, which is why reconstructions with two (as in the figure) or three topos provide the same result within %. In [37], the analysis of the interferometer signals was based on a three parameter functional fit, made available to the JET community as a standard [38]. The present analysis has shown that the SVD-I produces inversions that reproduce the raw interferometer signals more accurately than the functional fit. The result is that the density profiles are somewhat more peaked than those quoted in [37]. Figure 17 can directly be compared to figure 13 in [37]. However, all parametric dependencies remain qualitatively similar, in particular the dependence on l i, the independence of the peaking on electron temperature gradient length L Te and on the theoretically important effective collisionality, relevant for ion temperature gradient (ITG) and TEM instabilities, which is defined as ν eff = ν ei 3(m i/m e ) 1/ ɛ 3/ νei, (15) ω De q where ν ei is the electron ion collision frequency, νei is the electron collisionality familiar from neoclassical theory, ω De is the curvature drift frequency and ɛ the local aspect ratio. The approximation introduced above and used in this paper stems from the assumption k θ ρ 1 3

19 Inversion of interferometric data using SVD 67.8 ITER n e /n e ν eff at r/a =.5.7<l i <.8.8<l i <.9.9<l i <1 1<l i <1.1 Figure 18. Dependence of density profile width on effective collisionality in ELMy H-mode discharges in JET. Symbols indicate different classes of internal inductance. A vertical line is drawn at the effective collisionality expected for the ITER reference H-mode. for the fastest growing poloidal mode number k θ, which is supported by fluid and kinetic microstability calculations (ρ is the ion Larmor radius). These discharges have been analysed with respect to microinstabilities with the gyrokinetic code GS [39], using gradients at midradius as inputs. The main result is that the sign of the mode frequency, which indicates the nature (ITG or TEM) of the dominant instability, is very sensitive to input parameters. This stresses the importance of accurate profile measurements for meaningful stability calculations. We interpret the sensitivity of the mode frequency as an indication that the discharges are in a mixed ITG/TEM regime, where thermodiffusion is expected to be weak, consistently with the absence of an L Te dependence. The behaviour of H-modes in figure 18 is in stark contrast to the L-mode with a clear collisionality dependence and no l i dependence, except for ν eff <.3 [4]. Although a scaling with both l i and ν eff [41] is expected from theory, it is presently not understood why no ν eff dependence is observed in L-mode and why an l i dependence is only apparent at low collisionality in H-mode, although it appears to be linked to the fact that H-modes at medium and high collisionality are clearly in the ITG domain. Once the ν eff dependence is acknowledged, there are no further dependencies on n e, nor on P ICRH /P AUX, P NBI /P AUX, L Te, L Ti, β N or ρ. Figure 18 confirms the collisionality dependence of the density peaking observed on ASDEX Upgrade [41] and extends it to lower collisionalities. The vertical broken line indicates the collisionality expected for the ITER reference H-mode. n e / n e is slightly less (by 7%) at ν eff. in JET than in ASDEX Upgrade when the evaluation of ν eff is based on a flat Z eff derived from visible bremsstrahlung. However, JET and ASDEX Upgrade results agree when lower and hollow Z eff profiles measured by charge exchange spectroscopy are used. The agreement between the two different size devices suggests the possibility of an extrapolation to ITER. Assuming similar conditions (no significant α particle heating), we expect that the peaking factor on ITER for ν eff.1 will be n e / n e 1.6 ±., as at JET, corresponding to R/L ne 4 ± 1.3 at mid-radius. However, the power density available for electron heating in the core of JET is relatively modest and therefore not representative of an ignited plasma. Density peaking in ITER is likely to be reduced from the level observed in

20 68 I Furno et al JET by the strong α heating, which is expected to drive TEM unstable, producing an outward thermodiffusive convection [31]. 7. Summary The SVD-I method combines the high bandwidth of interferometer systems with the spatial accuracy of Thomson scattering. It uses SVD of temporally sparse local electron density profile measurements from a Thomson scattering system in the same or equivalent plasmas to determine a set of orthogonal basis functions which is well adapted to the physical processes under investigation. The sought-for density profile is expanded into series of a small number of these functions and a solution is calculated by using a simple least-squares fit method. An SVD analysis of line-integrated interferometer measurements allows the determination of the number of components that are needed to reproduce the evolution of the density profile in a particular situation. This information is used for optimizing the number of local basis functions to include in the inversion. We have shown that the SVD-I method is more accurate and faster than a regularization method for reconstructing density gradients and hollow profiles. The SVD-I method has been successfully applied to invert interferometric measurements from TCV plasmas during normal and inverted sawteeth. In the former case, with ohmic and low power ECH, the density profiles are consistent with TEP predictions, i.e. the peaking of the density profiles is directly related to the peaking of the current profiles, irrespective of plasma shape and average collisionality. Departures from TEP occur with high power ECH and ECCD, leading to flatter and sometimes hollow (when a m/n = 1/1 island is present) density profiles. The existence of hollow density profiles proves that the normally inward directed particle pinch can be reversed under certain circumstances. The observed pinch reversal in the presence of a m/n = 1/1 island is consistent with neoclassical predictions of reversed thermodiffusion in the core of a helically deformed plasma. The robustness of the SVD-I method, even in the presence of a small number of line-integrated measurements (down to as few as 5 or 6 chords), allows the inversion of interferometric data from JET plasmas. We applied the SVD-I method to a set of MHDfree, L-mode discharges previously analysed using a three-parameter functional fit [38]. All parametric dependencies remain qualitatively similar between the two methods. In particular, we found that n e /n e is independent from both the electron temperature gradient length L Te and the collisionality ν eff. Yet, the SVD-I method provides inverted profiles which are more peaked and reproduce the interferometric raw data more accurately than functional fit profiles. Using the SVD-I method, we studied the dependence of the density peaking on the effective collisionality in H-mode discharges in JET. The main result is that we observed the same collisionality dependence of density peaking as in ASDEX Upgrade [41] and extended it to a lower collisionality regime as shown in figure 18. Acknowledgments The authors wish to thank the entire TCV team for their valuable help. Discussions with J B Lister, S Sardy and E Hemsing are gratefully acknowledged. The authors also acknowledge support from the Fonds National Suisse de la Recherche Scientifique. References [1] Chiang K L et al 1997 Rev. Sci. Instrum [] Koponen JPTandDumbrajs O 1997 Rev. Sci. Instrum